Courtenay Myers Lima

Courtenay Myers Lima

Latham & Watkins LLP

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Is the SEC’s Proposed “Best Interest” Standard for Broker-Dealers in Anyone’s Best Interest?

Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than answers. The Securities and Exchange Commission (SEC) proposed for public...more

5/17/2018  /  Best Interest Standard , Broker-Dealer , Conflicts of Interest , Disclosure Requirements , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Retail Investors , Securities and Exchange Commission (SEC) , Securities Exchange Act
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